Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
Trump Account Match Will Be a Common Employee Perk: Sen. Cruz
By Melanie Waddell"Trump accounts are 401(k)s for kids," Ted Cruz said Thursday at an ICI event.
April 28, 2026
The Real Reason DOL Is Clearing the Way for Alts in 401(k)sLabor's plan is meant to stem the tide of ERISA lawsuits, attorneys and retirement industry officials say.
April 28, 2026
Tax Court Allows Loan Interest Deduction in Life Policy Termination CaseThe judge also kept the IRS from imposing a failure-to-pay penalty.
April 27, 2026
Ex-Franklin Templeton Analyst Alleges Retaliation Over Fraud AllegationsJordan Strah complains in a lawsuit that the firm dismissed him after he claimed his manager deceived investors.
April 27, 2026
Insurance Group Drops DOL Rollover Advice Suit"It may seem anti-climactic but we really see this as a red-letter moment," FACC CEO Kim O'Brien says.
April 27, 2026
Fidelity Hit With $1.25M Fine Over Data BreachMassachusetts' top securities regulator ordered the fine over a breach that compromised the data of 77,000 customers.
April 27, 2026
Ex-LPL Rep Suspended Over Outside Business ActivityJames Robert Ptacek Jr. did not disclose his role on the board of a streaming company, FINRA states.
April 27, 2026
Vanguard CEO: Individual Investors a 'Great Stabilizing Force'Vanguard is adding AI to its advisor tools and its robo-advice service, Salim Ramji said.